ENVIRONMENTAL ENHANCEMENT
AND MITIGATION PROGRAM
2016/17 Grant Cycle
GUIDELINES and APPLICATION
STATE OF CALIFORNIA
April 2017
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TECHNICAL ASSISTANCE WORKSHOPS
Four technical assistance workshops are planned to provide help in preparing grant applications. Since the Selma and Los Angeles workshops take place during lunch hours, please feel free to bring your own lunch and eat during the workshop.
San DiegoTuesday, May 9, 2017
10:00 am – Noon
San Diego Unified Port District Don L. Nay Administration Building – First Fl. Training Rm
3165 Pacific Highway
San Diego, CA 92101
Parking:
Free onsite parking available in lot nearest the entrance to the building / Sacramento
Thursday, May 11, 2017
9:30-11:30 am
Cal/EPA
Coastal Hearing Room
1001 I Street
Sacramento, CA 95812
Parking: http://portal.cityofsacramento.org/Public-Works/Parking-Services/Lots-and-Garages
Selma
Tuesday, May 16, 2017
11:30 am – 1:30 pm
Fire Administration Building
1711 Tucker Street
Selma, CA 93662
Parking:
Free onsite parking with additional parking across the street at City Hall / Los Angeles
Tuesday, May 23, 2017
10:30 am – 12:30 pm
Los Angeles River Center and Gardens
Sierra Madre Building, upstairs
570 West Avenue 26
Los Angeles, CA 90065
Parking:
Free onsite parking
PLEASE RSVP
(Not mandatory, but helpful)
Submit RSVP using the following link https://goo.gl/forms/2fAqenfIp6wJzO0g1
or via email at
These Guidelines provide information to assist you in preparing an application for funding. Read in their entirety for important information on project eligibility, evaluation criteria and submission requirements.
For general application process questions, contact the California Natural Resources Agency at:
Phone: (916) 653-2812
Email:
You may access these EEM Program Guidelines at:
http://resources.ca.gov/grants/environmental-enhancement-and-mitigation-eem/
HOW TO SUBMIT
Submit Online Applications: Applications must be submitted through the California Natural Resources Agency’s System for Online Application Review (SOAR) found at: https://soar.resources.ca.gov. Note: SOAR is not compatible with MACs.
The SOAR system will not accept submissions for this program after 5:00 pm on Wednesday, June 21, 2017.
A printed original application package (with wet signature) and one copy must also be sent to the Bonds and Grants Unit with a postmark no later than Friday, June 23, 2017. Send to:
California Natural Resources Agency
Attn: EEM Coordinator
1416 Ninth Street, Suite 1311
Sacramento, CA 95814
Applicants must sign up for a SOAR user account. A detailed guide on how to use SOAR and submit applications is located on our website at: http://resources.ca.gov/grants/.
SOAR System Questions
For technical assistance with the SOAR website, please contact the SOAR help desk:
8:00 AM - 5:00 PM Monday through Friday.
Phone Number: (916) 653-6138 Email:
A Help Desk representative will contact you regarding your email or call as soon as they are available to do so.
When contacting the SOAR help desk, please provide the following:
ü Proposal Identification Number (PIN) assigned to the application
ü Name of the funding program to which you are applying
ü Short description of your problem, including where in the application the problem is occurring
ü A screen shot of the error received, if applicable
Table of Contents
INTRODUCTION 1
Purpose and Authority 1
Eligible Applicants 1
Timeline 1
Conflict of Interest 1
Tribal Consultation 2
North/South Split 2
Environmental Review for the EEM Project 2
Funding 2
Memorandum of Unrecorded Grant Agreement (MOUGA)/Deed Restrictions 3
Eligible Costs 3
Selection Process 3
PROJECT REQUIREMENTS 5
EEM Project Categories 5
Related Transportation Facility 5
Minimum EEM Project Requirements 7
Eligibility Issues and Competitiveness 8
One-Page Concept Proposal (optional) 9
PROJECT ADMINISTRATION 10
PREPARING YOUR GRANT APPLICATION PACKAGE 12
GENERAL CRITERIA QUESTIONS 15
Mitigation and Enhancement 15
Statewide Project Goals……………………………………………………………………………………………………16
Other Sources of Funds / Local Cash Contributions 17
Project Readiness/Organizational Capacity 18
PROJECT CRITERIA QUESTIONS 19
Urban Forestry (UF) 19
Resource Lands (RL) 23
Mitigation Projects Beyond the Scope of the Lead Agency (MP) 28
WHAT TO SUBMIT: REQUIREMENTS FOR A COMPLETE APPLICATION 32
Appendices ..………………………………………………………………………………………………………………..36
A. Checklist for What to SubmitB. Application Form
C. Related Transportation
Facility Form
D. Resolution Template
E. Certification Letter
Requirements
F. Letter From Lead Agency for
the RTF
G.Cost Estimate
(Development) / H. Cost Estimate
(Acquisition)
I. Property Data Sheet
J. Permit Approval Status
K. Environmental Review of
EEM Project
L. Willing Seller Letter
M. Site Control/Land Tenure
Requirements
N. Eligible Costs
Requirements / O. Reimbursement Payment
Process
P. State Audit & Accounting
Q. Sign Guidelines
R. MOUGA
S. Authorizing Legislation
T. Resources for
Sustainable Communities
U. Definition of Terms
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INTRODUCTION
Purpose and Authority
These procedures and criteria guide the evaluation and selection of projects under the Environmental Enhancement and Mitigation (EEM) Program.
This program, as provided by California Streets and Highways Code Section 164.56 (Article XIX, Section 1, of the State Constitution), authorizes the legislature to allocate up to $7 million each fiscal year from the Highway Users Tax Account (Motor Vehicle Revenues, Section 2100).
EEM projects must contribute to mitigation of the environmental effects of transportation facilities. The California Natural Resources Agency (Agency) prescribes procedures and criteria to evaluate grant applications and submits a list of projects recommended for funding to the California Transportation Commission (CTC). The CTC awards grants to projects from the Agency’s list.
Eligible Applicants
Any state, local, federal or 501(c)(3) non-profit entity may apply for and receive grants. The entity is not required to be a transportation or highway related organization, but must be able to demonstrate adequate charter or enabling authority to carry out the type of project proposed, and be eligible for funding under Article XIX of the State Constitution. Partnerships are encouraged; however, only one entity may submit an application.
For Development projects, only one application may be submitted per eligible applicant.
Timeline
Application packages for the 2016-17 grant cycle must be submitted online through SOAR by
5:00 pm on Wednesday, June 21, 2017. In addition, a printed original (with wet signature) and one copy must also be sent to the Bonds and Grants Unit with a postmark no later than Friday, June 23, 2017.
Key timeframes for the program are anticipated as follows:
· Site visits by review team to selected sites October-December 2017
· Funding Recommendations & Awards March 2018
Conflict of Interest
All applicants and individuals who participate in the review of submitted applications are subject to state and federal conflict of interest laws. Any individual who has participated in planning or setting priorities for a specific solicitation over and above the public comment process or who will participate in any part of the grant development and negotiation process on behalf of the public is ineligible to receive funds or personally benefit from funds through that solicitation. Failure to comply with conflict of interest laws, including business and financial disclosure provisions, will result in the application being withdrawn from consideration, and any subsequent grant agreement being declared void. Other legal actions may also be taken. Applicable statutes include, but are not limited to, California Government Code Section 1090 and Public Contract Code Sections 10365.5, 10410, and 10411. Applicants should also be aware that certain state agencies may submit applications that will compete for funding.
Tribal Consultation
The Agency recognizes the need for tribal consultation regarding projects that affect California tribal communities. As such, applicants should make every effort to involve Native American Tribes or stakeholder groups as appropriate.
North/South Split
In accordance with the provisions of Section 187 and 188 of the Streets and Highways Code, an attempt will be made to allocate 40 percent of the total amount recommended to projects in northern counties and 60 percent of the total amount recommended to projects in southern counties. The southern counties are: San Luis Obispo, Kern, Mono, Tulare, Inyo, Santa Barbara, Ventura, Los Angeles, San Bernardino, Orange, Riverside, San Diego, and Imperial. For purposes of this north/south split, all other counties are considered northern counties.
Environmental Review for the EEM Project
California Environmental Quality Act (CEQA) compliance for the proposed EEM project and final compliance documents must be complete and submitted to the Agency with the grant application (Appendix K).
Funding
Grants for individual projects are generally limited to $500,000 each. Applicants must submit a Cost Estimate (Appendix G for Development Projects or Appendix H for Acquisition Projects) itemizing the total EEM project cost, the portion to be funded by the EEM program grant, and the amount to be funded from other specified sources.
A. Matching funds are not required for EEM program grants. However, applications which include other sources of funds for the proposed project will be more competitive.
B. If the Applicant has obtained, or is planning to obtain, other sources of funds for the project, identify each source of funding separately on the Cost Estimate (Appendix G or H) including other State of California funds and in-kind contributions.
C. Acquisitions
Agency may recommend awards up to $1,000,000 for acquisition projects, based on consideration of numerous factors, including, but not limited to, maximum benefits in a one-time or limited opportunity, acquisition of resource lands of considerable size, substantial leveraging, and/or projects with statewide significance.
1. Property must be acquired from a willing seller and in compliance with current laws governing relocation and acquisition of real property by public agencies[1] in an amount at or below fair market value, as approved by the State.
2. All project parcels must be contiguous.
3. If a signed purchase option agreement is unavailable at the time of application submission, a Willing Seller Letter is required from each landowner indicating they are a willing participant in the proposed real estate transaction. The letter should clearly identify the parcels to be purchased and state that “if grant funds are awarded, the seller is willing to enter into negotiations for sale of the property at a purchase price at or below fair market value” (Appendix L).
4. Once funds are awarded and an agreement is signed with Agency, another property cannot be substituted for the property specified in the application. Therefore it is imperative the Applicant demonstrate the seller is negotiating in good faith, and that discussions have proceeded to a point of confidence.
5. The California Department of General Services (DGS) must review and approve all appraisals of real property. It is recommended that the applicant budget $10,000 for the appraisal and/or transaction review, which is an eligible project cost.
Memorandum of Unrecorded Grant Agreement (MOUGA)/Deed Restrictions
For projects funded under the EEM Program, the Grantee will accept, sign, and record against the subject property a Memorandum of Unrecorded Grant Agreement (MOUGA)/Deed Restriction, to define the State’s interest in the property. Exceptions for development projects may be granted as appropriate and at the sole discretion of the State (Appendix R).
For conservation easement acquisition projects with more than one State funding partner, Agency reserves the right to be included as a third party beneficiary.
Eligible Costs
Direct project related construction and non-construction costs incurred during the project performance period specified in the Grant Agreement will be eligible for reimbursement. All eligible costs must be supported by appropriate documentation . Costs incurred outside of the project performance period and indirect costs are not eligible (see Appendix N for detailed information on Eligible Costs). Note: EEM project line items may not be split funded.
A. A Cost Estimate (Appendix G or H) is part of the Application Package.
B. The Cost Estimate should show all EEM project expenses line-item by line-item.
C. Include all other funding sources in separate columns and identify each source, including
in-kind, volunteer services or donated items.
Selection Process
A. Applicants submit application packages through the System for Online Application
Review (SOAR). See page ii for more information.
B. Applicants submit one original (with wet signature) and one copy of the complete grant application package to the Agency by the deadline.
C. Application packages are reviewed for completeness and eligibility.
Incomplete or ineligible applications are subject to being withdrawn from the competitive process. Applications containing more than one project are not eligible for funding. Eligible applicants may only submit one application for Development projects; however, more than one application may be submitted for acquisition projects.
D. Application packages are evaluated by a review committee using established criteria and any additional funding considerations.
E. Site visits to selected projects are scheduled and conducted.
F. Recommendations are submitted to the California Secretary for Natural Resources (Secretary).
G. The Secretary makes funding recommendations to the CTC.
H. CTC awards grants.
I. Agency executes a Grant Agreement with the Grantee and
administers the grant.
All information contained in the grant application is confidential until the grant awards are announced.
The Agency reserves the right to reject an applicant during the grant review period that is in violation of law or policy at any other public agency. Potential violations include, but not limited to, being in default of their performance requirements in other contract or grant agreements issued by the State, being engaged in or suspected of criminal conduct that could poorly reflect on or brings discredit to the State, or failing to have all required licenses to perform the State functions.
The Agency further reserves the right to reject any applicant who has a history of performance issues with past grants or other agreements with any public entity, including the grantor.
PROJECT REQUIREMENTS
EEM Project Categories
Eligible EEM projects must fit one of the following categories:
A. Urban Forestry projects designed to offset vehicular emissions of carbon dioxide.
B. Resource Lands projects for the acquisition or enhancement of resource lands to
mitigate the loss of, or the detriment to, resource lands lying within or near the right-of-way acquired for transportation improvements.
C. Mitigation Projects Beyond the Scope of the Lead Agency responsible for assessing
the environmental impact of the proposed transportation improvement.
Related Transportation Facility